DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A•• A•••• M••••••••• L••

Former SEC-registered adviserSt Louis, MissouriCRD 108935SEC 801-56226IAPD
Latest filing Apr 3, 2014
First filing on the tape Nov 16, 2011 · 27 filings
RAUM
$205M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$205M as of Mar 31, 2014
Mar 26, 2012$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 28, 20130 then
Employees (5.A)6 as of Mar 31, 2014
Mar 28, 20138 then
Private funds: no history
RAUM -2.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
200reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••• C••••••• D••••• · Senior Portfolio Managercontrol
    since 04/2008 · owns less than 5%
  • P••••••• J•••••• A••• · Senior Portfolio Managercontrol
    since 09/2001 · owns less than 5%
  • V•••••• R•••••• V•••••• · Shareholdercontrol
    since 09/2009 · owns F of Ahm Corporation Holdings, LLC
  • V•••••• R•••••• V•••••• · Elected Managercontrol
    since 09/2009 · owns F of Ahm Holdings, LLC
  • S••••••••• G•••• J••••• · Chief Compliance Officer
    since 05/2011 · owns less than 5%
  • A•••••••• J•••• G•••• · Trustee
    since 08/1998 · owns F of John G Anderson Living Trust
  • B•••••• C••••• H••••• · Elected Manager
    since 09/2009 · owns F of Ahm Holdings, LLC
  • H•••• S••••••• J•••• · Trustee
    since 09/1988 · owns F of Stephen J Hall Revocable Trust
  • H•••• S••••••• J•••• · Elected Manager
    since 09/2009 · owns F of Ahm Holdings, LLC
  • S••••••• W••••••• P••• · Trustee
    since 09/1986 · owns F of William P Stiritz Revocable Trust
  • V•••••• M•••• E•••••••• · Member
    since 05/2008 · owns 25% to 50% of Next II, LLC
  • V•••••• M••••••• S•••• · Member
    since 05/2008 · owns 25% to 50% of Next II, LLC
  • V•••••• R•••••• V•••••• · Elected Manager
    since 05/2008 · owns F of Next II, LLC
Entity owners
  • P•••• H•••••••• L•• · Member
    direct · owns 75% or more
  • A•• C••••••••• H•••••••• I••• · Member
    indirect · owns 25% to 50% of Pivot Holdings, LLC
  • A•• H•••••••• L•• · Member
    indirect · owns 25% to 50% of Ahm Financial Group, LLC
  • 9••• I••• · Member
    indirect · owns 25% to 50% of Ahm Holdings, LLC
  • J•••••• I••• · Elected Manager
    indirect · owns F of Next, LLC
  • J••• G• A••••••• L••••• T•••• · Shareholder
    indirect · owns 25% to 50% of 929, Inc.
  • N••• I•• L•• · Member
    indirect · owns 25% to 50% of Next, LLC
  • N•••• L•• · Member
    indirect · owns 50% to 75% of Ahm Holdings, LLC
  • S•••••• J• H••• R•••••••• T•••• · Shareholder
    indirect · owns 25% to 50% of 929, Inc.
  • W•••••• P• S•••••• R•••••••• T•••• · Shareholder
    indirect · owns 25% to 50% of Ahm Corporation Holdings, Inc.
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 174 to 200
    Jun 7, 2013 to Mar 31, 2014
  • Advisory employees · 3 to 2
    Jun 7, 2013 to Mar 31, 2014
  • Advisory activities · 6 to 5
    Jun 7, 2013 to Mar 31, 2014
  • Commission compensation · false to true
    Jun 7, 2013 to Mar 31, 2014
  • Employees · 8 to 6
    Jun 7, 2013 to Mar 31, 2014
  • Discretionary RAUM · $201M to $203M
    Jun 7, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $0 to $1.8M
    Jun 7, 2013 to Mar 31, 2014
  • RAUM · $201M to $205M
    Jun 7, 2013 to Mar 31, 2014
  • Accounts · 193 to 174
    Apr 18, 2013 to Apr 18, 2013
  • Discretionary RAUM · $207M to $201M
    Apr 18, 2013 to Apr 18, 2013
  • Non-discretionary RAUM · $2.0M to $0
    Apr 18, 2013 to Apr 18, 2013
  • RAUM · $209M to $201M
    Apr 18, 2013 to Apr 18, 2013
  • Accounts · 207 to 193
    Oct 11, 2012 to Mar 28, 2013
  • Advisory employees · unset to 3.0
    Oct 11, 2012 to Mar 28, 2013
  • Employees · unset to 8.0
    Oct 11, 2012 to Mar 28, 2013
  • Insurance-licensed employees · 1 to 0
    Oct 11, 2012 to Mar 28, 2013
  • State-registered IARs · unset to 0.0
    Oct 11, 2012 to Mar 28, 2013
  • Discretionary RAUM · $194M to $207M
    Oct 11, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $2.0M to $2.0M
    Oct 11, 2012 to Mar 28, 2013
  • RAUM · $196M to $209M
    Oct 11, 2012 to Mar 28, 2013
  • Assets in custody · 43274668.0 to unset
    Sep 18, 2012 to Oct 11, 2012
  • Custody of client assets · true to false
    Sep 18, 2012 to Oct 11, 2012
  • Private funds · 1 to unset
    Sep 18, 2012 to Oct 11, 2012
  • Accounts · 181 to 207
    Aug 2, 2012 to Aug 23, 2012
  • Discretionary RAUM · $198M to $194M
    Aug 2, 2012 to Aug 23, 2012
  • Non-discretionary RAUM · $17.7M to $2.0M
    Aug 2, 2012 to Aug 23, 2012
  • RAUM · $215M to $196M
    Aug 2, 2012 to Aug 23, 2012
  • Assets in custody · unset to 43274668.0
    Jun 5, 2012 to Aug 1, 2012
  • Custody of client assets · false to true
    Jun 5, 2012 to Aug 1, 2012
  • Private funds · unset to 1
    Jun 5, 2012 to Aug 1, 2012
  • Related adviser · false to true
    Jun 5, 2012 to Aug 1, 2012
  • Related broker-dealer · false to true
    Jun 5, 2012 to Aug 1, 2012
  • Accounts · 168 to 181
    Nov 16, 2011 to Mar 26, 2012
  • Insurance-licensed employees · unset to 1.0
    Nov 16, 2011 to Mar 26, 2012
  • Discretionary RAUM · $198M to $198M
    Nov 16, 2011 to Mar 26, 2012
  • Non-discretionary RAUM · $0 to $17.7M
    Nov 16, 2011 to Mar 26, 2012
  • RAUM · $198M to $215M
    Nov 16, 2011 to Mar 26, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026